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CFA Investment Foundations Mock 2024/2024
Proprietary trading is most likely carried out by: dealers. brokers. settlement agents. - Answer Dealers, Dealers act as principals, so they are deemed proprietary traders. Dealers trade on behalf of their own accounts and use their own capital to make markets. B is incorrect. Brokers arrange deals between the buyers and the sellers. They do not trade for their own accounts. C is incorrect. Settlement agents provide services to clear and settle deals after they have been negotiated
- Exam (elaborations)
- • 32 pages •
Proprietary trading is most likely carried out by: dealers. brokers. settlement agents. - Answer Dealers, Dealers act as principals, so they are deemed proprietary traders. Dealers trade on behalf of their own accounts and use their own capital to make markets. B is incorrect. Brokers arrange deals between the buyers and the sellers. They do not trade for their own accounts. C is incorrect. Settlement agents provide services to clear and settle deals after they have been negotiated